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UC SANTA CRUZ

DISSERTATION AND THESIS PREPARATION GUIDELINES

The submission of the Doctoral dissertation or Masters thesis is the final step in the
program leading to the award of your degree. The manuscript is a scholarly statement of
the results of a substantial period of research and preparation. It will be made available for
public use in McHenry Library, and published by UMI Dissertation Publishing/ ProQuest
Information and Learning.

For these reasons, the Graduate Council has established guidelines for uniformity in the
physical format of the manuscript. The concern of the Graduate Council in establishing
these guidelines is to obtain a permanent and readily reproducible form of presentation and
consistency in the arrangement of the contents. The dissertation or thesis must be a
professionally finished work in format, style, spelling and appearance.

Deadline: All candidates for a degree must submit an Application for Doctor of
Philosophy Degree or Application for Masters Degree to the Graduate Studies by the
date stated in the Academic and Administrative Calendar for the quarter you wish to
receive the degree.

Registration Requirement: A student is required to be registered or on filing fee status,

whichever is applicable, during the quarter in which the degree is conferred. Students
should consult Graduate Studies or the department to determine which option fits their
situation.

PREPARATION OF FINAL COPIES

A. Number of copies

One approved pdf copy should be submitted through the ProQuest/UMI dissertation site by
the date stated on the Academic Calendar. Consult your graduate adviser to determine the
number of additional copies required by the faculty committee. Please note that your
department may require a separate electronic or paper copy.

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B. Fonts

Embedded fonts REQUIRED. Post Script Type 1 fonts required. Any legible font except
script, italic or ornamental fonts, equivalent in scale to 10pt. Arial or 12pt. Times New
Roman accepted. However, fonts should not be mixed inappropriately. Italicized font may
be used for non-English words and quotations. Applies to all text including captions,
footnotes/endnotes, citations, etc.

C. Spacing

Double spacing throughout the dissertation/thesis should be used except in footnotes,

indented quotations set off from the text, bibliographic entries of more than one line, and
materials such as captions or tables and appendices of data.

D. Margins

Every page of the dissertation or thesis must be kept within margins set as follows: a
minimum margin of 1.5 inches (for binding purposes) on the left side of the page; 1.25
inches at the right side; 1.25 inches at the top and the bottom of the page. Page numbers
must print at least 0.75 inches from the edge of the page.

E. Pagination

All pages of the dissertation are counted, but not all pages have the number displayed.

The following pages are counted in lower case Roman numerals (i, ii, iii, etc.): title page,
copyright page (or blank page if you choose not to copyright), Table of Contents, List of
Figures, Table of Illustrations, Abstract, Dedication and Acknowledgment. However, the
page number should NOT be displayed on the title page or copyright page (or blank page if
you choose not to copyright).

Beginning with the first page of text, all pages should be numbered in Arabic sequence
beginning with 1 and all numbers should be displayed. This includes the footnotes section,
appendices, computer printout material, and bibliography.

All page numbers (Roman or Arabic) that are displayed must be centered at the bottom of
each page, at least 0.75 inches away from the edge of the paper. No words, punctuation,
or diacritics of any kind accompany the page number: it says 4, not -4- or 4. or
Page 4.

F. Figures, Tables, Oversize Materials, etc.

Figures may be embedded in the text or take up a full page. Full-page tables, charts, graphs
and other non-text material require the same margins as text pages. If necessary, wide tables,

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charts, and figures can be placed sideways; however, the page number must still appear at
the vertical bottom of the page, centered at least 0.75 inches from the edge.

Each figure or table must be numbered and should have a caption. With full page figures,
captions must be on the facing page. Such a caption page must be the mirror image of a
normal page, i.e., the wider margin (1.5) is on the right. The caption page precedes the
figure. The caption itself should be single-spaced and centered on the page. Both pages are
numbered, e.g. caption page 34, figure page 35. Page numbers remain centered at least
0.75 from the bottom of the page. When listing your full-page figure or table in the Table
of Contents, list the page number for the full-page figure or table (not the caption).

Supplemental material, (oversize materials, digital art, movies, etc.) may be included as a
separate file.

G. Published material
As the author of the dissertation/thesis manuscript, you will be asked to certify that
any previously copyrighted material used in your work, beyond fair use, is with
the written permission of the copyright owner.

With the approval of the dissertation/thesis committee and the Department, your own
published material may be accepted as all or part of the Masters thesis or Doctoral
dissertation, where the publication or publications represent research or scholarship
comparable in scope and contribution to that portion of the standard thesis or dissertation
they are intended to replace, and where the published material is substantially the product of
the candidates period of graduate study at UCSC. There should be an introduction showing
the historical development, methods used, and results.

If your own published material lists a co-author, and if the co-author is listed by reason of
having directed and supervised the research that serves as the basis of the dissertation or
thesis, only the candidates name is listed as the author in the preliminary pages. The
acknowledgment page should state: The text of this dissertation [or thesis] includes
reprint[s] of the following previously published material: [give full publication information
here]. The co-author listed in this publication directed and supervised the research which
forms the basis for the dissertation [or thesis]. If your own published material approved for
submission has co-authors other than the research director, the candidate must obtain
permission from the co-authors and copyright holders giving their approval for the material
to be used. Permission letters may be included as a supplementary file attached to your
dissertation submission, or may be submitted separately to ProQuest. A detailed statement of
the contribution by the candidate to all multiauthored publications must be included in the
acknowledgment.

If your own published material is approved by the dissertation/thesis committee for

submission as a part or whole of the dissertation or thesis, a memorandum stating this and

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approving the students acknowledgment statement must be submitted by the committee

chair to the Dean of Graduate Studies.

The pages of the published material must have the same margins as specified for the
dissertation, which may necessitate reduction of the material. Note that enlargement of the
materials to meet standard margin requirements is not needed. When using reprints, page
numbers of the reprint should be removed and replaced with numbers corresponding to the
position of the reprint within the dissertation. Each chapter that is an article reprint may have
an abstract of its own, but in any event there must be a general abstract covering the entire
dissertation.

PREPARING THE MANUSCRIPT AS A FORMATTED PDF

In its final form the dissertation or thesis is arranged in the following order:

1. Title Page (to view the accepted format go to the end of this document)

One original title page, prepared in the exact format as the attached sample, must be
submitted with the original signatures of all members of the Dissertation/Thesis Reading
Committee. The title page included in the electronic copy should be unsigned. The date on
the title page will depend on the quarter you will receive your degree and must reflect one of
the four dates listed below.

Quarter degree conferred Title page date (month and year)

Fall December 20xx

Winter March 20xx
Spring June 20xx
Summer September 20xx

The only degree designations and disciplines to be indicated on the title page are as follows:

Discipline Designation Degree Designation

Anthropology Doctor of Philosophy
Applied Mathematics and Statistics Master of Science/Doctor of Philosophy
Astronomy and Astrophysics Doctor of Philosophy
*Bioinformatics Master of Science/Doctor of Philosophy

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Biomolecular Engineering & Bioinformatics Master of Science/Doctor of Philosophy

Chemistry Master of Science/Doctor of Philosophy
Collaborative Leadership Doctor of Education
Computer Engineering Master of Science/Doctor of Philosophy
Computer Science Master of Science/Doctor of Philosophy
Earth Sciences Master of Science/Doctor of Philosophy
Economics Doctor of Philosophy
Ecology and Evolutionary Biology Master of Arts/Doctor of Philosophy
Electrical Engineering Master of Science/Doctor of Philosophy
Education Master of Arts/Doctor of Philosophy/
Environmental Studies Doctor of Philosophy
Feminist Studies Doctor of Philosophy
Film & Digital Media Doctor of Philosophy
History Doctor of Philosophy
History of Consciousness Doctor of Philosophy
*International Economics Doctor of Philosophy
Latin American & Latino Studies Doctor of Philosophy
Linguistics Master of Arts/Doctor of Philosophy
Literature Master of Arts/Doctor of Philosophy
Mathematics Master of Arts/Doctor of Philosophy
Microbiology and Environmental Toxicology Doctor of Philosophy
Molecular, Cell and Developmental Biology Master of Arts/Doctor of Philosophy
Music Master of Arts/Doctor of Philosophy
Music Composition Doctor of Musical Arts
Ocean Sciences Master of Science/Doctor of Philosophy
Philosophy Doctor of Philosophy
Physics Master of Science/Doctor of Philosophy
Politics Doctor of Philosophy
Psychology Doctor of Philosophy
Sociology Doctor of Philosophy
Statistics and Applied Mathematics Master of Science/Doctor of Philosophy
*Statistics and Stochastic Modeling Master of Science/Doctor of Philosophy
Visual Studies Doctor of Philosophy

*The names of these programs have been changed. Students who matriculated under the
previous name may choose to receive their degree under either the original or current
program name.

If you have completed a designated emphasis in addition to your graduate degree it

should be included on your title page per the following example:

HISTORY OF CONSCIOUSNESS

with an emphasis in FEMINIST STUDIES

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2. Copyright Notice or Blank Page

If you are planning to copyright your dissertation or thesis, include a copyright statement on
a separate page directly following the title page (sample attached). If you do not wish to
copyright your dissertation or thesis, you should insert a blank page in lieu of the copyright
page. Either way, the page in question is counted as page ii of the preliminary materials, but
the page number is not printed on the page.

Doctoral students may register the copyright of their dissertation using the services of
ProQuest. Information on ProQuest services and the required forms are included in the
online submission process.

3. Table of Contents

Theses and dissertations are expected to have a Table of Contents for the convenience of the
reader. The Table of Contents always begins on page iii of the dissertation [thesis].

4. List of Figures and/or Table of Illustrations

If plates or illustrations (i.e. maps, diagrams, charts, photographs, etc.) are scattered
throughout the text, include a separate List of Figures and/or Table of Illustrations after the
Table of Contents.

5. Abstract

An abstract must be included in your dissertation or thesis. The abstract must (a) state the
problem briefly; (b) describe the methodology; (c) summarize the findings. The abstract
should include the word Abstract, the dissertation or thesis title, and your name, centered at
the top of the page. It should be double-spaced, and should be within the dissertation/thesis
margin requirements. There is no word limit on your abstract. However, ProQuest still
publishes print indexes that include citations and abstracts of all dissertations and theses
published by ProQuest/UMI. These print indexes require limits of 350 words for doctoral
dissertations and 150 words for masters theses. If it exceeds these word limits ProQuest will
simply truncate your abstract and remove any non-text content. You may wish to limit the
length of your abstract if this concerns you. The abstract as you submit it will NOT be
altered in your published manuscript.

6. Dedication and/or Acknowledgments

If you wish, you may include a page with a brief note of dedication or acknowledgment of
help received from particular persons. (See Section G under Preparation of Final Copies,
Published Material, regarding acknowledgment for published material).

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7. Text
The text of the dissertation/thesis follows at this point. The first text page is Arabic numeral
1.

8. Footnotes

The placement of footnotes is a matter of preference that you should discuss with your
advisers. Footnotes may be placed at the bottom of the pages, at the end of the chapter, or at
the end of the text preceding the appendices.

9. Appendices

A last section may contain supporting data for the text in the form of one or more
appendices. Examples of appendix material are data sheets, questionnaire samples,
glossary, illustrations, maps, charts, etc. If the appended data includes oversized
illustrations or maps (as in the case of an Earth Sciences thesis or dissertation) you may
submit them as a separate file. (See ProQuest instructions for acceptable formatting).

10. Supplemental Files

List supplementary files that are included in your submission; these may include a
computer printout or programming data, audio or video files, etc.

11. Bibliography

A section headed Bibliography or References follows after the text and notes. Discuss the
physical arrangement/style of the bibliography with your advisers. It should include all of
your citations and references in alphabetical order by the authors last name and should be in
a format that is considered adequate for professionally published material in the field in
question. The section should be double spaced between citations, but may be single spaced
within a multiple lined entry.

ELEMENTS OF THE MANUSCRIPT

1. Title page
2. Copyright notice or blank page
3. Table of Contents
4. List of Figures and/or Table of Illustrations, if applicable
5. Abstract
6. Dedication and/or Acknowledgments

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7. Text
8. Footnotes (if displayed at the end of the dissertation/thesis)
9. Appendices, if applicable
10. List of supplemental files, if applicable
11. Bibliography

SUBMISSION INSTRUCTIONS

Graduate degree candidates must submit the following items to the Graduate Division by the
deadline date listed in the Academic Calendar for the quarter the degree is to be conferred.

1. One electronic copy of the dissertation/thesis must be submitted online via ProQuest
http://www.etdadmin.com/cgi-bin/main/submschools. Please pay particular attention to
correctly formatting your dissertation/thesis title in ProQuest; titles must be in Upper and
lower case NOT all caps.
2. Signed title page (This gets handed in directly to the Graduate Division, Kerr Hall,
2nd Floor)

In addition, Doctoral students should submit the following required forms:

1. Survey of Earned Doctorates Form Complete online via the following link
https://sed.norc.org/survey
2. Online UCSC Doctoral Exit Survey Submit online via
http://graddiv.ucsc.edu/current-students/applications-forms/index.html#six

Both forms are available on line at the Graduate Division web site:
http://graddiv.ucsc.edu/student_affairs/formsdownloads.php.

If you wish to participate in the June commencement ceremony, please register

online at http://graddiv.ucsc.edu/current-students/applications-forms/index.html#six.
Scroll down the webpage to Degree Application and Commencement Forms.

The Graduate Division encourages you to have your dissertation/thesis formatting

checked by our office prior to submitting your final draft online via ProQuest.
Contact the Graduate Division for assistance.

The following pages contain the format of the copyright page and title page. You
should reproduce the format of these pages exactly.

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(SAMPLE COPYRIGHT PAGE)

Copyright by

Ima S. Tressing

2008
 (SAMPLE TITLE PAGE FOR DISSERTATION)

UNIVERSITY OF CALIFORNIA
SANTA CRUZ

PSYCHOLOGICAL EFFECTS OF STRESS AND FATIGUE IN NORTHERN

CALIFORNIA GRADUATE STUDENTS

A dissertation submitted in partial satisfaction

of the requirements for the degree of

DOCTOR OF PHILOSOPHY

in

PSYCHOLOGY
with an emphasis in FEMINIST STUDIES

by

Ima. S. Tressing

December 20xx

The Dissertation of Jane Smith-Jones is

approved:

____________________________________
Professor Mary Jones, chair

____________________________________
Professor John F. Doe

____________________________________
William Brown, Ph.D.

_____________________________
Tyrus Miller
Vice Provost and Dean of Graduate Studies
 (SAMPLE TITLE PAGE FOR MASTERs DEGREE)

UNIVERSITY OF CALIFORNIA

SANTA CRUZ

COASTAL EROSION IN CAPITOLA

A thesis submitted in partial satisfaction

of the requirements for the degree of

MASTER OF SCIENCE

in

EARTH SCIENCES

by

Sandy Beach

June 2010

The Thesis of Sandy Beach

is approved:
_______________________________
Professor Mary Jones, Chair

_______________________________
Professor John F. Doe

_______________________________
Professor William Brown

_______________________________
Tyrus Miller
Vice Provost and Dean of Graduate Studies